- Manage Markets in Financial Instruments Directive (MiFID) II population “in-scope” across European Economic Area (EEA) in accordance with MiFID II Investor Protection knowledge & competence requirements, including maintaining register of in-scope population, reviewing and assessing competence, tracking those under supervision, and ensuring annual Continuous Professional Development requirements are met.
- To develop, maintain and manage the knowledge & competence framework across the EEA, in order to meet regulatory requirements
- The Employee Conduct Team is part of the Global Compliance & Operational Risk Control function.
- This team is responsible for Employee Conduct related matters which includes Licensing & Registration, Personal Account Dealing (PAD), Affirmations (AOL), External Directorship & Positions (EDP) and Training. The function has a cross-divisional remit covering the activities of the Investment Bank, Wealth Management, Global Asset Management and Corporate Center Businesses
Your experience and skills:
- A strong understanding of MIS and reporting
- Experience in process management – a process oriented mindset with a strong attention to detail
- Able to customize the solution based on the business requirement – recommend a correction here
- You are also good in preparing presentations
- A great communicator, you know how to speak with people at all levels of the organization
- An expert at building networks and connections
- A team player – known for meeting deadlines
- MIFID knowledge will be added advantage
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